Category Archives: Whistleblower

The Complaint Came Too Late: J.P. Morgan Caught Filing FINRA Complaints After Firing Whistleblower

A former broker for J.P. Morgan Chase was fired by the bank due, in part, to complaints about him filed by current and former customers with the Financial Industry Regulatory Authority (FINRA). However, later investigations determined both that some of … Continue reading

Posted in Confidentiality, New York, Retaliation, Securities & Exchange Commission, Whistleblower, Wrongful Termination | Leave a comment

Don’t Shoot the Messenger: Board Members May Be Held Individually Liable for Silencing In-House Counsel’s Complaints of Corruption

The U.S. District Court for the Northern District of California recently determined, in a matter of first impression, that members of a company’s board of directors may be held individually liable under the anti-retaliation provisions of the Sarbanes-Oxley Act (“SOX”) and … Continue reading

Posted in California, Employee Policies & Procedures, Foreign Corrupt Practices Act, Litigation, Retaliation, Whistleblower, Wrongful Termination | Leave a comment

SEC Takes Action Against Employer Confidentiality Clauses That Could Limit Employee Whistleblowing

Recently, the Securities Exchange Commission (“SEC”) warned that it will investigate and take administrative action against employers who require employees to sign confidentiality agreements/statements prohibiting the employees from communicating the employer’s possible securities law violations to the SEC (i.e. whistleblowing).

Posted in Confidentiality, Employee Policies & Procedures, Employment Contracts, Noncompete Agreements, Securities & Exchange Commission, Whistleblower | Tagged | Leave a comment

New Jersey Supreme Court: Taking Employers’ Documents Is Theft

The New Jersey Supreme Court recently affirmed that employees who take or copy their employer’s documents can be prosecuted for theft by unlawful taking. In State v. Saavedra, — A.3d –, 2015 WL 3843764 (N.J. 2015), the court acknowledged that … Continue reading

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